Monday, October 1, 2007

7:30 a.m. - 8:30 a.m.

Registration and Breakfast

8:30 a.m. - 8:45 a.m.

Welcoming Remarks

John Meserve
Director
BNY ConvergEx Group
Chairman
SIFMA Institutional Brokerage Committee

8:45 a.m. - 9:15 a.m.

Featured Speaker

U.S. Representative Paul E. Kanjorski (D - PA)
Chairman
Financial Services Subcommittee on Capital Markets Insurance and Government Sponsored Enterprises

9:15 a.m. - 10:00 a.m.

Client Commission Arrangements - A Practitioners View

This panel of industry experts will explore the SEC's examination of client commission arrangements under Section 28(e) of the Securities Exchange Act and analyze its impact on institutional brokers and investment managers.

Moderator:

John Meserve
Director
BNY ConvergEx Group

Panelists:

Tom Conigliaro
Managing Director
Equity Products Group
Goldman Sachs Group, Inc.

Jon Giblin
Senior Vice President
Head of U.S. Market Structure Solutions
Lehman Brothers

Mark Kuzminskas
Director of Equity Trading
Robeco Investment Management

Douglas Woodcock
Managing Director
D. A. Davidson & Co.

10:00 a.m. - 10:15 a.m.

Break

Hosted by UBS Investment Bank

10:15 a.m. - 11:15 a.m.

Regulation of the Institutional Equity Markets

This panel will highlight the latest legislative initiatives and regulatory developments that will impact institutional equity markets, including best practices for compliance.

Moderator:

Mike Udoff
Managing Director
Securities Industry and Financial Markets Association

Panelists:

Mark Conforti
Managing Director
Institutional Equity Services
Credit Suisse Securities (USA) LLC

Gerald Lins
General Counsel
ING Investment Management

Bob Plaze
Associate Director
Division of Investment Management
U.S Securities and Exchange Commission

11:15 a.m. - 12:00 p.m.

Future of Trading

Hear from industry experts on trends and new opportunities in equity trading. What's the future of electronic trading and how are dark liquidity pools impacting the markets for global, regional and boutique brokers?

Speakers:

William Harts
Managing Director and Head of Strategies
Banc of America

Richard Repetto
Principal
Sandler O'Neill & Partners, L.P.

Tim Mahoney
CEO
Block Interest Discovery Service (BIDs)

12:00 p.m. - 1:30 p.m.

Keynote Luncheon Address

Ron Insana
CNBC Senior Analyst

Mr. Insana will address the evolving and dynamic equity markets and will tackle such questions as what's driving current volatility and how does the media work to stay ahead of market developments?

Lunch hosted by BNY CovergEx Group

1:30 p.m. - 2:30 p.m.

Equity Derivatives and Listed Options - Emerging Instruments and Future Trends

Hear experts discuss what the rapidly expanding market for equity derivatives and listed options, including an analysis of new products on the market, trading strategies, and what they are hearing from investors.

Moderator:

Kevin Murphy
Managing Director
Citigroup Global Markets, Inc.

Panelists:

Neil Fitzpatrick
COO of Execution Services
Citadel Derivatives Group

Tony Saliba
Chief Executive Officer
LiquidPoint

Michael Walinskas
Senior Vice President, Risk Management
The Options Clearing Corporation

Scot Warren
Managing Director, Equity Products
CME Group

2:30 p.m.- 2:45 p.m.

Break

Hosted by Cogent Consulting

2:45 p.m. - 3:45 p.m.

Globalization of the Institutional Equity Business

This panel will explore European business trends and the impact on the U.S. market, including the opportunities, risks and rewards of globalization. This panel will also discuss global investing strategies, lessons learned and the overall impact of the globalization on the institutional equity business.

Moderator:

Phillipa Hawkins
Director
Credit Suisse

Panelists:

David Grayson
Managing Director
Auerbach Grayson and Company

Amy Reich
Deputy General Counsel and Managing Director
Citi Markets and Banking

Richard Sutcliffe
Wholesale and Prudential Policy
Financial Services Authority

3:45 p.m. - 4:45 p.m.

Future of Research

This panel will address what the future holds for equity research, including an in-depth discussion on the impact of recent regulations, third-party and proprietary research, and new business models.

Moderator:

Steve Buell
Partner
Director of Research
Thomas Weisel Partners LLC

Panelists:

Perry Boyle
Director of Research
SAC Capital Advisors LLC

Nik Fisken, CFA
Director of Research
Stephens, Inc.

Paul Noglows
Director of Research
Lazard Capital Markets

4:45 p.m.

Closing Remarks

John Meserve
Director
BNY ConvergEx Group
Chairman
SIFMA Institutional Brokerage Committee